Compliance Analyst (Leading Hedge Fund)

Our client, a credit focused hedge fund, is looking for a Compliance Analyst to join their US based team.

Job Description & Synthesis
Based in New York City, the Compliance Analyst will assist in the Chief Compliance Officer in overseeing the Regulatory, Code of Ethics, Marketing Review functions for our client.

Specific Responsibilities
  • A Compliance Generalist role in the Enterprise Compliance Team
  • Assisting in the management of our client’s Code of Ethics policies
  • Providing guidance and monitoring conflicts related to personal account trading, outside business activities, political activity, and gifts and entertainment
  • Assisting in the day-to-day management of responsibilities associated with broker-dealer
  • Assisting in the review of marketing materials
  • Miscellaneous tasks/responsibilities, as needed.
Key Qualifications
  • 3+ years of compliance and/or paralegal experience, financial services industry a plus
  • General knowledge of SEC regulatory framework and understanding of Material Non-Public Information (“MNPI”)
  • Proven ability to manage tasks with competing priorities and deadlines
  • Proficient in Microsoft Office applications including, Word, Excel, and Outlook. 
  • Series 7 and Series 24 a plus
  • Bachelor’s Degree required.